project management essentials for the court leader -...

Collaborative Project Management:An Overview

OACA Fall Conference, October 18, 2012

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What we are going to cover:I. Session GoalsII. Management, what is it?III. General thoughts on PM IV. The Waterfall

Framework

Initiate the Project Plan and set up the project Work the Project Track and re-plan the

project Close the Project

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V. Review Phases of a Waterfall Project

Close the Project

VI. Questions

Goals of this session:

This session intends to provide the following: An easy, introductory and comprehensive

project management overview for staff who have not been formally trained in project

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management A summary of typical stages, steps, and sub

steps involved in managing collaborative projects

Project Management Essentials for the Court Leader - Page 1

Management, what is it?

There are two types of management:

Functional Management – Grouped by specialty, operational in nature with direct reports to

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manage.

Project Management – Is something new, has a beginning and an end, and crosses functional areas. This is why projects tend to require cross functional teams.

Project Management (Something New)

Definition Phase

Functional Management (Ongoing Processes)

Input

Management(To control or direct the affairs of a business or

institution)

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Planning Phase

Implementation Phase

Closure Phase

Ongoing Management (weekly

status meeting, review metrics)

Output

General thoughts on Project Management

You will be more successful if you take an organized approach

Do what has worked for others in the past (utilize templates)

There are many approaches, the one we are going to

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discuss today (waterfall) is a good one for beginners and can handle any level of project

An ad hoc approach is a recipe for disaster! Incorporate continuous improvement in your process


The Waterfall Framework:

1. Initiate the Project

2. Plan and setup the Project

3. Work on the Project

4. Track and re-plan the

Project

5. Close the Project

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We are going to break down each stage in this presentation so you have a template on how to manage a project from beginning to end.

1.0 Initiate the project

1.1 Get the project approved, sponsored and resources allocated

1.2 Decide the project management process & framework1.3 Decide on the tools used to help facilitate managing

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people, resources and time

1.1 Approval, Sponsorship and Resources Allocated

Approval• The first task is to obtain approval for the project

• The second task is to identify and obtain a project sponsor• This ers n ants t see the r ject ha en and hel s

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Sponsorship• This person wants to see the project happen and helps

work through barriers within the organization

Resources• The third task is to obtain resources (people and money)

Tool: Project Charter


1.2 Pick the Project Management Process you want to deploy

Unstructured

(Ad Hoc)

1 Loosely Structured (Task List)

3Fully Structured (Full Lifecycle with stages and gates)

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Larger & more complexSmaller & less complex

Management By Exception

(Issue List)

2 Semi Structured (Life Cycle)

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1.3 Decide on the tools used to help facilitate managing people, resources and time

• E-mails• PhoneUnstructured

• All of the above• Word & Excel

Management by Exception

• All of the aboveLoosely Managed

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• Excel, Action & Issue ListsLoosely

Structured • All of the above• Simple lifecycle, Charter, Lessons Learned• Risks, Issues, Status Reports, Task List

Semi-Structured

• All of the above• Project Portfolio Software• Full lifecycle with phases and gates

Fully Structured*

Managed Project

* Note: this presentation is focusing on a Fully Structured Waterfall Project

2.0 Plan and Setup the Project

At this stage your project is approved. You have decided how to manage your project and you have outlined your approach and tools that will be used.

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The second stage has the following steps:2.1 Plan the Project2.2 Peer review your Plan2.3 Notify the Team of their Responsibilities


2.1 Plan the project

ProjectStatement

• Project Charter – Master Project Document• Intention of project and high level information [template]

Tasks

• Identify tasks needed to complete the project successfully• Use Work Breakdown Structure if dependencies are important in the

project

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Docs

• Create Artifacts from templates • Delegate Artifact creation to team members

Assign Work

• Delegate work based on availability and skill set• Identify over allocation and augment assignments accordingly

2.2 Peer Review your plan

Review

• Review Task• Review Time Frames• Review Assignments

• Request a peer to review & comment

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Peer Review • Request sponsor to review & comment

Baseline

• Make changes based on feedback• Baseline your plan

2.3 Notify the team of their responsibilities

Kickoff

• Host a Kickoff Meeting with the team and review the task list, roles, structure

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Communicate

• Set up scheduled e-mails with nudges for upcoming or late work

• Schedule weekly/biweekly/milestone review (phone/digital) status meetings


3.0 Work on the Project Your project is started, everyone knows their role,

assignments, time lines and tasks The third stage’s goal is to start work on the tasks

identified in the project plan:

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3.0 Work on the project

Find

• Find Your Work: Project tasks need to be tracked in an agreed upon format like Excel, Word, E-Mail or PPO software where team members can find their work .

Do

• Plan time on your calendar to do the work based on the estimated time for the task.

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Update

• Structure each project so that each team member records progress at an agreed upon time interval. I recommend a weekly update schedule.

Document

• Document what is done, what is delayed and any issues needing resolution.

4.0 Track and Re-Plan the Project In this phase the team is working on their assignments.

Some tasks may be ahead of schedule but some are falling behind

One thing is certain, the project is not running the way you planned it. Unanticipated problems and issues have

d I h f h d f d

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arrived. In the fourth stage we identify status, and re-plan – then we need to communicate the adjusted plan to the rest of the team!


4.0 Track and Re-plan the project

Check• Check and understand the project’s progress• Are you ahead, behind or on schedule?

We suggest the following steps:

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Find• Find and manage exceptions (e.g. issues,

risks, and change requests)

Re-Plan• Re-Plan the project based on the project’s

progress and exceptions

4.1 Check and Understand Project Process

You as a project manager need to figure out where the project is before you re-plan (e.g. status)

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4.1 Check and Understand Project Process

Virtual

• If your team members are following the guidelines in 3.0 of this PowerPoint “Work on the Project” you should have a website or documents you can review to obtain status

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Individual

• Check in person or via phone with team members and Sponsors to obtain project status.


4.1 Track and Re-Plan the Project• 4.1.3 Team Check – Don’t have a meeting for the sake of having a

meeting. • If you do have a meeting, you need to be organized and obtain

the needed information so you can plan, review barriers and focus on the weekly tasks.

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4.1 Track and Re-Plan the Project

I.• Review, discuss and resolve any open issues

Here is a sample agenda to consider:

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II.• Review upcoming tasks

III.• Review tasks recently achieved or at least the

milestones (time permitting)

4.2 Find and Manage Exceptions

You now know where the project is but you still have to check for exceptions.

If you do not find and manage exceptions and then re-plan the project in an iterative fashion you run the risk of failing in some way

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A good analogy to emphasize how important this iterative process is can be seen in the flight of an airplane.


4.2 Find and Manage Exceptions

Issues• Issues are “roadblocks” not planned for • Issues need to be resolved or the project doesn’t move forward

• Review open risks to see if a “trigger” has sprung or if you need to use your contingency plan.

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Risksto use your contingency plan.

• If your risk is happening use your contingency plan to mitigate

Change

• Does your SCOPE need changed in some way? If so a change request process needs to be followed, often consulting with sponsors, management and team members so it can be documented.

4.3 Re-plan the Project

You now have enough information to decide if your plan needs to be tweaked.

Decide to re-plan on some interval, milestone, stage gate.

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Redefined

• Update all project documents• Focus on task list & critical path

Here are three sub-steps to help you re-plan:

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Re-assigned

• Now that your project structure has changed you may need to reassign work to different team members.

• Find and fix any over assignments.

Notify

• Check to ensure the changes are getting out through the notification process set up in “Stage 2 – Plan and setup the Project”.


4.3 Re-plan the Project 4.3.2 Report to and Work with the Appropriate

Stakeholders: Now that changes are made you should update your

stakeholder(s) so they can provide feedback for the project.

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Status Reports

• Deliver Periodic Status Reports (Printed/E-mailed)• Show overall health, expectations and changes

Updating your stakeholders may involve some of the following activities:

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Exceptions

• Raise exceptions including (a) change requests, (b) top issues, and (c) top risks

Sponsor Level Issues

• Resolve sponsor level issues and apply resolution through a “re-plan” with their input


4.3.2 Update the tools you are using Change your tools (Word, Excel, PPO

Software) so you are showing and tracking the “right” information. Enough but not too

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much!


5.0 Close the Project

1.0 Initiate the Project

2. Plan and setup the 3. Work on

the Project

4. Track and re-plan the 5. Close the

Project

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the Project Project the Project Project Project

Project Management is about working the project, figuring out what is happening, periodically re-planning to ensure the end goals are met and documenting ways to do it better the next time.

5.0 Close the Project We are now ready to close out the project As we learned earlier in our discussion every project has

a beginning and an end. This is what differentiates a project from a process and continuous operation. (i.e. functional management)

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5.0 Close the Project

Archive

• Archive any tool (Word, Excel, PPO site) so it can be accessed for knowledge purposes

• Complete project close out and document

A set of steps to close out a project is as follows:

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Lessons Learned

• Complete project close out and document lessons learned

Update Templates

• Capture any modifications to any of the tools used on the project


5.0 Close the Project Questions for your close out meeting: What went well on this project? What did not go so well on this project? What did we not do on this project that might have helped? What specific actions should we take to adjust the approach to

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the next project we do as a team?

Ways to get the information: Close Out Meeting Survey Meeting and Survey – Provide a survey and then follow up with

a meeting.

Questions?

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What’s Next on our agenda? A walk through of a project from beginning to end.

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IT GOVERNANCE

OACA 2012 Fall Conference

Project Management Essentials for the Court Leader

IT GOVERNANCE

http://www.nacmnet.org/CCCG/index.htmlNACM Core Competencies

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NCSC Court IT Governance Model

Governance principlesGovernance principles

dd

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Structure and processStructure and process


Principle #1

Decisions should be made at the appropriate level Decisions should be made at the appropriate level of an organizationof an organization

Policy decisions by policy leadersPolicy decisions by policy leaders

Business decisions by business expertsBusiness decisions by business experts

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y py p

Legal decisions by those with legal trainingLegal decisions by those with legal training

Technology decisions by technologistsTechnology decisions by technologists

Financial decisions by financial peopleFinancial decisions by financial people

The Real World Policy leaders disengage when meeting agendas Policy leaders disengage when meeting agendas

are filled with trivial technical and business are filled with trivial technical and business issuesissues

Technical initiatives flounder when policy Technical initiatives flounder when policy

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Technical initiatives flounder when policy Technical initiatives flounder when policy decisions cannot be madedecisions cannot be made

Technical staff can’t get or won’t ask for help in Technical staff can’t get or won’t ask for help in understanding business operationsunderstanding business operations

The Real World

Policy and business leaders make technology Policy and business leaders make technology decisions without consulting technologists or decisions without consulting technologists or just “follow the money”just “follow the money”

Legal issues paralyze progress on technology Legal issues paralyze progress on technology

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Legal issues paralyze progress on technology Legal issues paralyze progress on technology designdesign

Technology design fails to consider legal issuesTechnology design fails to consider legal issues


Principle #2

Almost every major technology decision Almost every major technology decision has policy, business, and technical has policy, business, and technical facets, so a team approach to decisionfacets, so a team approach to decision--

k dk d

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making is requiredmaking is required

Principle #3

Every decision should consider the interests of every Every decision should consider the interests of every group that may be affectedgroup that may be affected

but . . . but . . .

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•• Courts are Masters of Courts are Masters of Internal SuboptimizationInternal Suboptimization

[“the practice of focusing on one component of the [“the practice of focusing on one component of the total and making changes intended to improve that one total and making changes intended to improve that one component and ignoring the effects on other component and ignoring the effects on other components”]components”]

Principle #4

The structure, authority, responsibility, The structure, authority, responsibility, expectations, and operating rules of a governing expectations, and operating rules of a governing group should be formally articulated and group should be formally articulated and communicated throughout the organizationcommunicated throughout the organization

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g gg g


NCSC Court IT Governance Model

ThreeThree--tiered governance structuretiered governance structure PolicyPolicy

BusinessBusiness

TechnologyTechnology

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OverlapOverlap

CharterCharter

Role of the Technologists [AKA the Chief Information Role of the Technologists [AKA the Chief Information Officer (CIO) or the Chief Technology Officer (CTO)]Officer (CIO) or the Chief Technology Officer (CTO)]

Three-Tiered Governance Model

Policy GroupPolicy Group Composed of court policy leadersComposed of court policy leaders

Provides vision and strategic directionProvides vision and strategic direction

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Sets prioritiesSets priorities

Says NO!Says NO!

Overall budget allocationsOverall budget allocations

Financial oversightFinancial oversight

Strategic planningStrategic planning

Project oversightProject oversight


Business GroupBusiness Group Composed of business expertsComposed of business experts

Defines and analyzes business problemsDefines and analyzes business problems

M b i M b i

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Manages business processesManages business processes

Implements policy directivesImplements policy directives

Manages projectsManages projects

Assists in design of solutionsAssists in design of solutions

Develops plans, budgets, issues papers, etc. Develops plans, budgets, issues papers, etc.

Focuses on solving business problemsFocuses on solving business problems



Technical Group• Composed primarily of technologists

Develops architecture

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Develops architecture

Oversees development of the infrastructure

Creates, procures, implements, and operates applications and interfaces


OverlapOverlap Most court IT issues have policy, business, and Most court IT issues have policy, business, and

technical implicationstechnical implications

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technical implicationstechnical implications

Each group should include a representative of each of Each group should include a representative of each of the other twothe other two

The Technologist could be a member of all three The Technologist could be a member of all three groupsgroups

Activity 1

What Technology ProblemsWhat Technology ProblemsDo You Face?Do You Face?

hi h blhi h blWhich Problems are Which Problems are Directly/Indirectly Governance Directly/Indirectly Governance

Issues?Issues?

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What Is Wrong with IT?

“… IT efforts fail to generate the intended business “… IT efforts fail to generate the intended business benefits… There must be something wrong with the benefits… There must be something wrong with the IT function in our company. We have found, IT function in our company. We have found, however that the problem reveals that however that the problem reveals that something is something is

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however, that the problem reveals that however, that the problem reveals that something is something is wrong with the way nonwrong with the way non--IT executives are IT executives are managing ITmanaging IT--enabled changeenabled change in the organization.”in the organization.”

HBR: “IT Governance”

IT Governance

A formal structure and a A formal structure and a systematic methodology for systematic methodology for managing technology managing technology

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managing technology, managing technology, technologists, and technological technologists, and technological change within an organization, change within an organization, including:including:

IT Governance Defining expectationsDefining expectations

Setting priorities for IT initiativesSetting priorities for IT initiatives

Granting authorityGranting authority

Allocating resourcesAllocating resources

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gg

Making policy decisions that affect ITMaking policy decisions that affect IT

Making policy decisions that affect the courtMaking policy decisions that affect the court

Resolving problems that arise during projectsResolving problems that arise during projects

Holding the IT organization accountableHolding the IT organization accountable

Terminating struggling projectsTerminating struggling projects


Business Perspective

“Some of the most ineffective governance we “Some of the most ineffective governance we have observed was the result of conflicting have observed was the result of conflicting goals. This problem was often observed in goals. This problem was often observed in th t t h di ti th t t h di ti

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the government sector, where directives the government sector, where directives come from many agencies. The result was come from many agencies. The result was confusion, complexity, and mixed messages, confusion, complexity, and mixed messages, so the governance was ignored. so the governance was ignored.

HBR: “IT Governance”

Six IT Decisions thatIT Staff Should Not Make

1.1. How much should we spend on IT?How much should we spend on IT?

2.2. Which business processes should receive our IT Which business processes should receive our IT dollars?dollars?

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3.3. Which IT capabilities should be courtWhich IT capabilities should be court--wide?wide?

4.4. How good do our IT services need to be?How good do our IT services need to be?

5.5. What security and privacy risks will we accept?What security and privacy risks will we accept?

6.6. Whom do we blame if an initiative fails?Whom do we blame if an initiative fails?

Business Perspective IT GovernanceIT Governance

Harvard Business ReviewHarvard Business Review

Peter Weill and Jeanne W. RossPeter Weill and Jeanne W. Ross http://hbswk.hbs.edu/archive/.htmlhttp://hbswk.hbs.edu/archive/.html

Six IT Decisions Your IT People Shouldn’t MakeSix IT Decisions Your IT People Shouldn’t MakeHarvard Business ReviewHarvard Business Review

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Harvard Business ReviewHarvard Business Review

Peter Weill and Jeanne W. RossPeter Weill and Jeanne W. Ross http://www.qualifiedauditpartners.be/user_files/ITforBoards/GVIThttp://www.qualifiedauditpartners.be/user_files/ITforBoards/GVIT

_Harvard_Business_ReviewRoss_Jeane___Weill_Peter_Six_IT_D_Harvard_Business_ReviewRoss_Jeane___Weill_Peter_Six_IT_Decsions_Your_IT_People_Shouldnt_Make_.pdfecsions_Your_IT_People_Shouldnt_Make_.pdf


Benefits of Effective Governance

Work together to achieve common goalsWork together to achieve common goals

Single set of prioritiesSingle set of priorities

Focus resources on highest prioritiesFocus resources on highest priorities

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Forum for resolving problems in a thorough, Forum for resolving problems in a thorough, systematic waysystematic way

Better expectation management, lower level of Better expectation management, lower level of frustrationfrustration

Benefits of Effective Governance

Conflicts are resolved before working relationships Conflicts are resolved before working relationships are damagedare damaged

Technology staff will receive clear unambiguous Technology staff will receive clear unambiguous

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Technology staff will receive clear, unambiguous Technology staff will receive clear, unambiguous directiondirection

Solutions will be businessSolutions will be business--driven, rather than driven, rather than technologytechnology--drivendriven

Court Technology Framework (CTF)

CTF is intended to align court technology CTF is intended to align court technology capabilities to court business goals and act as a capabilities to court business goals and act as a strategic enabler of the court missionstrategic enabler of the court mission

I t tl d d l t ith I t tl d d l t ith Is a concept currently under development with Is a concept currently under development with the Joint Technology Committee (JTC) and the the Joint Technology Committee (JTC) and the National Center for State Courts (NCSC)National Center for State Courts (NCSC)

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CTF Goals & Objectives

Provide an organized view of the complex Provide an organized view of the complex landscape of court technology solutionslandscape of court technology solutions

Promote alignment of IT initiatives with Promote alignment of IT initiatives with business goalsbusiness goals

Define standard set of components/interfaces Define standard set of components/interfaces Define standard set of components/interfaces Define standard set of components/interfaces that make up a comprehensive court IT that make up a comprehensive court IT environmentenvironment

Help courts identify opportunities for Help courts identify opportunities for improved efficiency and/or cost savings improved efficiency and/or cost savings through the use of technologythrough the use of technology

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Court Technology Framework Model

http://goo.gl/xQrQw

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CTF Layer & Category Definitions Business Layer Business Layer –– Defines how the court achieves Defines how the court achieves

its purposes through organization, operations, its purposes through organization, operations, services, functionality, and continuityservices, functionality, and continuity

StrategyStrategy

GovernanceGovernance

CapabilityCapability

Culture Culture

PerformancePerformance

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CTF Layer & Category Definitions Application Layer Application Layer –– Defines software Defines software

applications to support business functions and applications to support business functions and manage data, including standards manage data, including standards ndnd best best practices relating to application design and practices relating to application design and i f ti h ii f ti h iinformation sharinginformation sharing

Component DesignComponent Design

Internal Data SharingInternal Data Sharing

External Data SharingExternal Data Sharing

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CTF Layer & Category Definitions Data Management Layer Data Management Layer –– Defines the Defines the

development and execution of architectures, development and execution of architectures, policies, practices and procedures that properly policies, practices and procedures that properly manage the full data lifecyclemanage the full data lifecycle

Logical Data ModelLogical Data Model

CategorizationCategorization

Access/SharingAccess/Sharing

Quality/IntegrityQuality/Integrity

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CTF Layer & Category Definitions Technology Infrastructure Layer Technology Infrastructure Layer –– Defines the Defines the

technologies designed by a court to support the technologies designed by a court to support the business functions. This includes hardware, business functions. This includes hardware, software and network standards, as well as software and network standards, as well as considerations for security, facilities considerations for security, facilities y,y,management, and disaster recoverymanagement, and disaster recovery HardwareHardware

Systems SoftwareSystems Software

NetworkNetwork

FacilitiesFacilities

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Activity 2

Review the Court Technology Framework Checklist

How Does Your Court Score?

Business Business

Applications

Data Management

Technology Infrastructure

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Checklist on Page 33.

Managerial Responses to DisasterManagerial Responses to Disaster

Who do you call to your office?Who do you call to your office?

What is your top priority?What is your top priority?

Disaster Drills Exercise

How do you deal with:How do you deal with:

○○ Presiding judgePresiding judge

○○ MediaMedia

○○ PublicPublic

○○ StaffStaff

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Drills on Page 37.

Disaster Best Practices

Stop the bleedingStop the bleeding

Call the judgeCall the judge

Initiate an assessmentInitiate an assessment

i i i i ii i i i i Initiate an investigationInitiate an investigation

Prepare a statementPrepare a statement

Notify stakeholdersNotify stakeholders

Get legal counselGet legal counsel

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Disaster Best Practices (cont.)

Fix the problemFix the problem

Prevent a recurrence (training, Prevent a recurrence (training, policy, resources, etc.)policy, resources, etc.)

Find someone to blameFind someone to blame

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Data Quality

Data Quality can be defined through three Data Quality can be defined through three attributes:attributes:

TimelinessTimeliness

AccuracyAccuracyyy

RelevancyRelevancy

Relevancy is one of the Fair Information Practice Relevancy is one of the Fair Information Practice (FIPS) principles(FIPS) principles

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Relationship to Privacy

In a world where more and more records are In a world where more and more records are accessible online, the courts have an obligation to accessible online, the courts have an obligation to ensure not only that access is ensure not only that access is appropriateappropriate but but that the information is also that the information is also accurateaccurate, , timely, and timely, and

l tl trelevantrelevant

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Lowered credit ratingsLowered credit ratings Inability to gain employmentInability to gain employment Inability to obtain housingInability to obtain housing

Possible Impact on theData Subject

Inability to obtain housingInability to obtain housing False arrestFalse arrest

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Relationship to Public Safety

The courts are a critical source of justice and The courts are a critical source of justice and public safety information that other agencies rely public safety information that other agencies rely upon:upon:

Warrant statusWarrant status

Release statusRelease status

Probation statusProbation status

Criminal historyCriminal history

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Data Quality Impacts Exercise

Identify real situations or possible Identify real situations or possible scenarios where data quality has scenarios where data quality has scenarios where data quality has scenarios where data quality has had or could have an impact on had or could have an impact on citizens or public safetycitizens or public safety

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Resources

Information Quality: The Foundation for Justice Information Quality: The Foundation for Justice Decision MakingDecision Making

http://it.ojp.gov/documents/IQ_Fact_Sheet_Final.pdf

Privacy and Information Quality Policy Privacy and Information Quality Policy y f Q y yy f Q y yDevelopment for the Justice Decision MakerDevelopment for the Justice Decision Maker

http://it.ojp.gov/documents/_global_privacy_document.pdf

Fair Information Practice Principles:Fair Information Practice Principles:

http://www.ftc.gov/reports/privacy/fairinfo.shtm

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Thank you for your time and remember, in the world of IT if all else fails there is

always the “Help Desk” . . .

ROLL TAPE!


PUBLIC CONTRACTING FOR OHIO COURTS101 D. Allan Asbury, Esq.

Administrative Counsel

Office of the Administrative Director

Supreme Court of Ohio

When to Use Request For Proposals

Price is not main consideration.

Unable to develop exact specifications for project.

Seeking a provider for a combination of goods and servicesservices.

Governing Rules/Regulations

No uniform statewide contracting requirements for Courts.

Local courts may need to follow Municipal Code or County Procurement Procedures.y Dollar thresholds triggering competitive bidding. Purchases greater than $25,000 require RFP.

Authority to enter into contract.


Key Elements for Request for Proposals

Instructions to vendors Pre-bid conference Communications method for vendors Scope of Work: Description of the requested

supplies/services need supplies/services need. List deliverables, tasks, performance standards, timelines,

etc. Factors for evaluating proposals Court’s right to reject, in whole or in part, all bids. Deadline for submittal. Date/time/place of bid opening. Public notice of proposal. Cancellation of request for proposals

Other Key Items

Describe any regulations and laws the contractor must follow.

Describe any forms the contractor must use.

Describe reporting requirements.

Bid Opening Practices

Public and accessible location.

Obtain list of attendees (representatives).

Announce the bidder’s name. If price is only consideration may announce priceconsideration, may announce price.


Evaluation Process

Three person committee recommended. Project manager, administrator, non-interested staff member.

Determine factors for evaluation prior to proposal: Responsiveness to RFP Understanding of goods and services to be provided. Understanding of goods and services to be provided. Quality of the goods or services to be delivered. Personnel Cost Past performance Financial stability

Scoring

Quantitative Scoring Example

The publisher’s understanding of the Supreme Court’s process and procedures used to report its decisions and suggested areas for improvement and efficiencies.

The publisher’s expertise in the area of

10 points x 2.5

10 points x 2 0

Criteria Scoring

The publisher s expertise in the area of legal publishing.

The completeness and responsiveness of the proposal.

The services and workflow plan offered by the publisher.

The consideration offered to the Supreme Court of Ohio for the right to publish the Ohio Official Reports.

10 points x 2.0

10 points x. 1.5

10 points x 2.5

10 points x. 1.5

Cancellation

No offer in compliance with RFP.

Pricing exceeds market conditions

Award not in the best interest of the Court.


Legal Effect of Bid Submittal

Offer/Acceptance: “Contract” will legally consist of RFP/Bid/Separate Contract.

A proposal, upon acceptance by the Supreme Court, immediately creates a binding contract between the successful submitter and the Supreme Court. Once accepted, it may not be rescinded, canceled, or modified by the successful submitter.

Any contract resulting from this request for proposals is binding on the successful proposer.

Best Practices With Vendors During Process

Avoid one-on-one contact before bid submittal date.

Ask for all questions in writing /email.

Respond to questions either to entire bid list or on Respond to questions either to entire bid list or on website.

Never discuss the evaluation process internally or externally. Maintain confidentiality.

Minor clarifications can be requested of individual bids.

Legal Considerations

A public entity will be held to the standards, rules, policies it chooses to adopt for competitive bidding –even when not required by law.

May ask one or more bidders for best and final offer.A id f i i t Avoid appearance of impropriety.

Beware of post award modifications – Cannot substantially change the contract and destroy

competitive nature to bid.

Cannot waive defects that destroy competitive bidding. Prepare for bid protests.


Legal Considerations (Cont.)

Standard for review:- Presumption the agency performed the selection in a lawful

manner.

- Unreasonable, arbitrary or unconscionable decision by agency officialsagency officials.

Public Access Rules (Supt. R. 44-47) Bids after opening are subject to disclosure.

Trade secret and proprietary information.

Contact bidder for clarification as to trade secrets.

Ethical Considerations

Using public authority to secure any public contract for the official, a family member or a business associate.

Having a direct financial or fiduciary interest in profits/benefits of public contract with an agency with

hi h h bli ffi i l i dwhich the public official is connected.

Soliciting or receiving things of value from a business seeking or doing business with the agency that poses an substantial and improper influence on the performance of the official’s duties.

Contact Information

D. Allan [email protected]

614.387.9514


Activity 2C: Review Court Technology Framework (CTF) Checklist

DIRECTIONS: Review the questions outlined for business, applications, data management and technology infrastructure to determine how well your court is doing in these areas.

Businessstrategy governance capabilities culture performance

1. Strategy - Does the court have a strategic business plan that provides direction and guides business decisions?

a. Does the court have a formalized strategic business planning process? b. Does the court governance committee review plan progress as an agenda item regularly

or at least annually? 2. Governance - Is there a formal Information Technology (aka IT, MIS or IS) Governance

committee that approves and sets the priorities for IT? a. Is this committee made up of stakeholders such as administrators, department heads,

clerk of the court, judges and other system users? b. Does this committee hold regularly scheduled meetings, known to the court and

stakeholders? c. Can anyone by-pass or change the priorities set by this committee? d. Do the priorities established through IT Governance align with court priorities?

3. Governance - Is the Chief Information Officer (person responsible for court technology) a member of the Senior Management Team?

4. Governance – Is there a continuity of operations plan (COOP) for the court to hold court and operations in another location if necessary?

a. Is there a COOP contact and staffing plan setting forth responsibilities of each member of the COOP Team?

b. Is the CIO a member of that Team? c. Has the CIO created a continuity of operations plan (COOP) for technology operations

and infrastructure? 5. Capabilities - Does the court have a project management office that implements and enforces

project management standards and processes in addition to technology standards? 6. Capabilities – Are there sufficient IT resources to:

a. support operations, and; b. assign resources to strategic business plan priorities?

7. Performance - Does the court have methods of measuring organizational performance, business unit performance, project performance and individual performance that tie back to the court’s mission, goals and objectives identified in the planning process?


8. Culture – Does the court instill its mission, goals, objectives, values, policies and standards in all judges and court personnel as a part of orientation and on-going training?

Applicationscomponent design internal data sharing external data sharing

9. Component Design - Are applications acquired and/or developed in accordance with the priorities established by the governance committees?

10. Component Design - Are software solutions acquired and/or developed through participation of end users including justice system partners?

11. Component Design - Are users adequately trained in the use and capabilities of applications? 12. Internal Data Sharing - Do software applications produce the operations and performance

information required for managers and governance? 13. Internal Data Sharing - Are application components acquired and/or developed according to

standards to achieve data sharing among those components, reducing data entry, redundancy and error?

14. External Data Sharing - Are application components acquired and/or developed according to standards to achieve data sharing between and among external systems?

Data Managementlogical data model categorization access / sharing quality / integrity

15. Logical Data Model - Has the data in your system been mapped to individual business functions creating a logical data model in accordance with generally accepted IT practices?

16. Categorization - Has the data been categorized according to its value and frequency of access? 17. Access/Sharing - Has the data been classified in terms of sharing, public access, privacy and

associated with access rights? 18. Data Quality and Integrity - Have methods been developed to validate the data, judge its

consistency, timeliness, integrity and verify appropriateness for specific uses?

Technology Infrastructurehardware systems software network facilities

19. Hardware – Do you have a hardware refresh cycle for all hardware (computers, servers, networking hardware, etc.) whereby each unit is replaced in less than six years?

20. Systems Software - Are all of system software requirements identified and documented? a. Application code is documented and archived, and; b. Licensing documentation maintained.


21. Network - Are network requirements documented (including network performance requirements such as bandwidth)?

22. Facilities - Are facility requirements necessary to support the technology infrastructure documented?


POLICY DISASTER DRILLS

DISASTER DRILL #1

Continuity of Operations

While driving to work one morning, with the dial set to Snob Radio 99.5, you hear a weather report that a hurricane is expected to hit your city by mid-afternoon.

DISASTER DRILL #2 Data Integrity

You are on the golf course on Saturday morning and get a text message from your IT director, indicating that all of your electronic documents filed in the last six months have been lost, due to a disk crash. There are no backups, and there are no paper copies—they were shredded after being scanned. She asks if she can use you as a reference in her search for a new job.

DISASTER DRILL #3 Confidentiality

One of your judges throws the door to your office open, flings a newspaper at you, and screams, “How could this happen!” You try to calm him down, but your attempt is unsuccessful. While he paces back and forth in front of your desk, hurling invectives and expletives with a speed and accuracy that would be impossible for most, you pick up the newspaper. There on the front page of section B, right below a story about how and when to prune your rose bushes properly, you see the complete text of an opinion upon which the judge has been working for days, one that has not yet been released.


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